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Doug McKelvey Investigation September 2022-Southlake, TX According to publicly available records Douglas M. McKelvey a former broker who was employed by Morgan Stanley , discloses a recent regulatory matter, a prior…
read moreJorge Sonville Investigation September 2022-Miami, FL According to publicly available records Jorge A. Sonville, a currently unregistered broker who most recently worked with Insigneo Services and before that, Merrill Lynch, discloses a…
read moreJoseph Ambrosole Investigation September 2022- New York, NY According to publicly available records, Joseph Ambrosole a former FINRA registered representative who last worked for Joseph Stone Capital, discloses 5 prior…
read moreJeff LaBelle Investigation August 2022- Sarasota, FL According to available records, Jeffery (Jeff) Guy LaBelle , a currently unregistered broker who was previously registered with First Allied Securities, Inc. discloses 13…
read moreMarc Lowell Investigation September 2022- Ft. Lauderdale, FL The FINRA records of Marc Layne Lowell, a stockbroker previously employed by LPL Financial and who is currently employed with Alliance Global Partners…
read moreDavid Lentz Investigation August 2022-Kernersville, North Carolina The FINRA records of David W. Lentz, a former Kestra Investment Services broker and owner of Thorium Wealth Management disclose a pending customer dispute seeking millions in damages. The Financial Industry…
read moreLynn Cawthorne- Former Cambridge Investment Broker Sentenced for Wire Fraud August 2022-Shreveport, LA Shreveport Times photo of Lynn Cawthorne According to publicly available records, Lynn Dale Cawthorne, a former broker,…
read moreHarold Bin Cho Investigation August, 2022 – Short Hills, NJ The FINRA records of Harold Bin Cho a broker currently employed by Merrill Lynch, Pierce, Fenner & Smith, disclose a prior customer…
read moreScott Spruth Investigation August 2022- Newport Beach, CA According to FINRA records, Scott K. Spruth, a broker who previously worked for Wells Fargo, discloses 2 pending customer disputes. The Financial…
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